Broker-Dealer definition

Broker-Dealer. Any broker or dealer registered under the Exchange Act.
Broker-Dealer has the meaning set forth in the Registration Rights Agreement.
Broker-Dealer means any broker or dealer registered with the Commission under the Exchange Act.

Examples of Broker-Dealer in a sentence

  • ACCOUNTS HELD AT DESIGNATED BROKER/DEALERS EXCEPTIONFor securities transactions for which the CD has direct access through a Designated Broker/Dealer electronic confirmation, such electronic access is deemed to be sufficient reporting to comply with the above requirement although a quarterly certification of completeness is still required.

  • For any Personal Securities Account not maintained at an Approved Broker-Dealer, Covered Persons and their Related Persons must arrange to have duplicate copies of trade confirmations and statements provided to the Legal & Compliance Department at the following address: Lazard Asset Management LLC, Attn: Chief Compliance Officer, 30 Rockefeller Plaza, 56th Floor, New York, NY 10112-6300.

  • The Investor shall be solely responsible for all fees and commissions of the Broker-Dealer, which shall not exceed customary brokerage fees and commissions and shall be responsible for designating only a DTC participant eligible to receive DWAC Shares.

  • The Investor shall, from time to time, provide the Company and its transfer agent with all information regarding the Broker-Dealer reasonably requested by the Company.

  • Personal Accounts of an Employee that are maintained as brokerage accounts must be held only at the following approved designated broker-dealers Approved Designated Broker-Dealer List (each a “Designated Broker”).4 5Under limited circumstances, the Compliance Department may grant exceptions to this policy and approve the use of other broker-dealers or custodians (such as in the case of proprietary products that can only be held at specific firms).


More Definitions of Broker-Dealer

Broker-Dealer means any broker or dealer registered as such under the Exchange Act.
Broker-Dealer means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in paragraph 10 of these Articles Supplementary, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.
Broker-Dealer means any broker or dealer registered under the Exchange Act.
Broker-Dealer means any broker-dealer, commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer in Part II of this Statement, that is a member of, or a participant in, the Securities Depository or is an affiliate of such member or participant, has been selected by the Fund and has entered into a Broker-Dealer Agreement that remains effective.
Broker-Dealer means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. The term does not include:
Broker-Dealer. Any broker or dealer registered under the Exchange Act. Business Day: Any day other than a Saturday, Sunday or U.S. federal holiday or a day on which banking institutions or trust companies located in New York, New York are authorized or obligated to be closed. Closing Date: The date of this Agreement.
Broker-Dealer means a person registered as a broker or dealer under the Securities Exchange Act of 1934, as amended.